Lead Opinion
OPINION
On appeal from his conviction for felony theft by swindle, appellant Richard Raymond Chauvin challenges the district court’s double upward durational departure from the presumptive guideline sentence. Specifically, Chauvin argues that the district court did not have the authority to impanel a jury to make findings on aggravating sentencing factors. Chauvin also challenges the upward departure because it was based on an aggravating factor that did not appear in the complaint. We affirm.
On March 19, 2004, Chauvin waved down a car and asked the driver, 80-year-old D.E., for $200 to help Chauvin get his truck out of a ditch. D.E. was uneasy about the request but agreed because Chauvin knew D.E.’s full name and said that Chauvin sang at a church D.E. occasionally attended. D.E. gave Chauvin the money and a ride after Chauvin promised to pay him back. At one point before the two parted company Chauvin showed D.E. his driver’s license, told him his real name, and signed an agreement to return the money. D.E. gave Chauvin another $450 when he returned to D.E.’s home a few hours later and asked for more money to get his truck fixed. The next day someone purporting to be a police officer phoned D.E.’s home and told D.E.’s daughter that Chauvin needed more help and asked that D.E. bring an additional $600. D.E.’s daughter became suspicious and called the police, who identified and arrested Chau-vin.
On April 28, 2004, Chauvin was charged by complaint with felony theft by swindle, MinmStat. § 609.52, subds. 2(4), 3(3)(a) (2004), and driving after revocation, Minn. Stat. § 171.24, subd. 2 (2004). The complaint was silent about aggravating factors. The presumptive guideline sentence based on the theft charge and Chauvin’s criminal history was 24 months commitment to prison.
On June 24, 2004, the United States Supreme Court decided Blakely v. Washington, holding that for Apprendi purposes, the “statutory maximum” is “the maximum sentence a judge may impose solely on the basis of the facts reflected in the jury verdict or admitted by the defendant.” Blakely v. Washington,
On the first day of trial the district court told Chauvin and the attorneys that, because the career offender statute requires proof of prior crimes and Blakely requires
After a two-day trial the jury returned a verdict of guilty. The district court then told the jury they could go home, but that they were bound by the same rules as during trial because they would have to return the next day for a “second stage to this trial.” After extensive arguments on the state’s ability to prove the dates of Chauvin’s prior convictions, the state withdrew its motion for an upward departure based on the career offender statute, Minn.Stat. § 609.1095, subd. 4. The court then reconvened the jury for a finding on the other aggravating factor (victim vulnerability), and instructed them as follows:
A separate jury determination is required when a defendant has been found guilty of a crime and the state seeks an increase in the defendant’s sentence above the presumptive sentence provided by law. In making that determination the trial jury shall consider those factors relevant to the question of the increased sentence. If you unanimously find beyond a reasonable doubt that one of the following relevant factors exists then the judge may increase the defendant’s sentence above the presumptive sentence provided by law. Final determination whether to increase the defendant’s sentence remains with the judge.
The court instructed the jury on the state’s burden of proof, beyond a reasonable doubt, and on the two elements of a vulnerable victim. The court then said:
If you find that both these elements have been proved beyond a reasonable doubt, then the [victims] were vulnerable adults and you should * * * answer the special interrogatory yes. If you find that either [element] has not been proved beyond a reasonable doubt, the [victims] were not vulnerable adults then you should answer the special interrogatory no.
The attorneys argued to the jury about the sentencing factor based on the evidence presented in the first phase of trial. No new evidence was presented at this sentencing stage. After deliberations the jury returned the interrogatory, finding that “the evidence establishes beyond a reasonable doubt that the defendant’s victims * * * were vulnerable adults.” Based on this jury finding the court sentenced Chau-vin to 48 months in prison, double the presumptive sentence. The court of appeals affirmed. State v. Chauvin, No. A05-726,
I.
We first address the issue of whether in November of 2004 the district court had the inherent judicial authority to impanel a sentencing jury. This is an issue of law that we review de novo. See State v. Pflepsen,
A court’s inherent judicial authority “grows out of express and implied constitutional provisions mandating a separation of powers and a viable judicial branch of government.” In re Clerk of Lyon County Courts’ Compensation,
The test to be applied in these cases is whether the relief requested by the court or aggrieved party is necessary to the performance of the judicial function as contemplated in our state constitution. The test is not relative needs or judicial wants, but practical necessity in performing the judicial function. The test must be applied with due consideration for equally important executive and legislative functions.
Lyon County,
First, use of a sentencing jury was necessary because, as the district court correctly determined, the judicial fact finding portion of the Minnesota Sentencing Guidelines was unconstitutional under Blakely. We later confirmed that determination. See State v. Shattuck (Shattuck II),
Chauvin argues that the court’s sentencing jury procedure was not necessary because the district court had a constitutional mechanism to sentence him, by imposition of the presumptive sentence. But this argument requires a conclusion that necessity, in the context of inherent judicial authority, is the equivalent of impossibility. We have never given necessity such a limited interpretation.
In In re Office of District Public Defender for the First Judicial District,
Without a constitutional statutory mechanism to impose an aggravated sentence the district court was left with two choices. It could completely ignore the legislative scheme for departing from the presumptive guideline sentence. Or, as the court ultimately chose, it could do the least amount of damage to the statutory scheme by retaining the departure mechanism while at the same time complying with Blakely by using a sentencing jury. Faced with this conflict, we agree that it was practically necessary for the district court to improvise a jury fact finding mechanism to comply with the Sixth Amendment.
Second, using a sentencing jury to make factual findings is a unique judicial function. The state relies on our decision in State v. Johnson,
We said that the “[determination of [court] procedural matters is a judicial function” that “arises from the court’s inherent judicial powers.” Id. at 553-54; see also In re Welfare of J.R., Jr.,
Similarly, impaneling a sentencing jury did not change the punishment available for the underlying substantive offense. It merely changed the steps that the court took in arriving at a sentence already authorized by the legislature. Blakely did not remove the ability of a judge to impose an aggravated sentence, it only changed the process by which aggravated sentences may be imposed.
The defendant in State v. Olson was convicted of receiving stolen property valued at $1,000 or more, the highest category of offenses listed in the relevant statute.
In State v. Robinson the district court submitted a special interrogatory to the jury to make a finding, in addition to guilt, on the question of whether some of the defendant’s acts of sexual abuse occurred after a certain date.
These cases demonstrate our recognition of the historical and constitutional function of the judiciary to safeguard the rights of criminal defendants by providing for a jury trial where the statutory scheme is silent
Third, the district court did not infringe on the legislative function of creating a sentencing guideline system. At the time the district court impaneled the sentencing jury, Blakely had established that the judicial fact finding on sentencing factors contemplated by the guidelines was unconstitutional, and there was no new legislation providing for the same or a different procedure. Far from infringing on a legislative function, the district court was effectuating the legislative policy of allowing the opportunity to depart from the presumptive sentence where “substantial and compelling circumstances exist.” Minn. Sent. Guidelines 1.4, II.D. Accordingly, we hold that the district court had inherent power to impanel a sentencing jury under these facts. This result comports with results reached in other jurisdictions. See, e.g., State v. Schofield,
II.
Chauvin argues that the recognition of the inherent power of the district court to impanel a sentencing jury is inconsistent with and contrary to our recent decisions in Shattuck II,
In State v. Shattuck (Shattuck I),
While this court has the authority to establish procedures to apply the requirements of Apprendi and Blakely to sentencing in Minnesota, we leave to the legislature the task of deciding how the Sentencing Guidelines system should be altered to comport with those cases. It is the legislature that created the Sentencing Guidelines system and retains authority over its development. For us to engraft sentencing-jury or bifurcated-trial requirements onto the Sentencing Guidelines and sentencing statutes would require rewriting them, some*28 thing our severance jurisprudence does not permit.
Id. at 148. We then remanded for resen-tencing, but noted that we were not foreclosing the district court from using the remedy that the state requested — impaneling a sentencing jury on remand — because the legislature had recently authorized it. Id. at 148 & n. 17 (citing Act of June 2, 2005, ch. 136, art. 16, §§ 3-6, 2005 Minn. Laws 901,1115-16).
After reversing the defendant’s Blakely-infirm sentence in Barker, we rejected the state’s argument that we should direct the district court to impanel a sentencing jury on remand. Barker,
The policy decision underlying Shattuck II and Barker, to decline on comity grounds to exercise our inherent judicial authority to impanel sentencing juries, could be extended to cases such as Chau-vin’s, where the district court exercised its inherent authority to impanel a sentencing jury before Shattuck II was decided and before the 2005 legislation was enacted. But, ultimately, we conclude that Shattuck II and Barker do not control the resolution of this case because the issue we faced in those cases was different from the precise issue we face here in ways that alter the comity analysis that is reflected in those cases.
The defendants in Shattuck II and Barker were sentenced before Blakely was decided and were not afforded a jury determination on aggravating factors. Chauvin was sentenced after Blakely was decided and was given a jury trial on the aggravating factor. More important, the state in Shattuck II and Barker was asking us to recognize the district court’s inherent judicial authority to impanel a sentencing jury on remand of an unconstitutional sentence, and we made the policy decision to not recognize that authority after the legislature had already authorized the use of juries on resentencing. In Shattuck II the legislature had already provided for the remedy the state was requesting. In Barker the legislature had already omitted the specific mandatory minimum statute at issue from the authorization to use sentencing juries on resen-tencing. In both cases we acknowledged the existence of the inherent judicial authority to impanel a sentencing jury, but made a policy decision out of deference to the legislature to not exercise that power.
Chauvin essentially asks us to give retroactive effect to the policy decision we made in Shattuck II and to expand it to situations where the legislature was yet silent about its intent. At the time Chau-
Moreover, we concluded in Hankerson v. State,
Therefore, we hold that the district court’s exercise of its inherent authority to impanel a jury on sentencing factors was not precluded by Shattuck II or Barker or by reasons of comity to the legislature.
III.
We now turn to Chauvin’s argument that because the Supreme Court in Apprendi v. New Jersey,
A.
The Sixth and Fourteenth Amendments require that the state inform a defendant “of the nature and cause of the accusation.” U.S. Const, amends. VI, XIV; Faretta v. California,
For the proposition that all elements must appear in the complaint Chauvin relies on our decision in State v. Gisege,
In McCollum v. State, we rejected the argument that due process requires a reference to the sentencing statute in the charging instrument.
Similarly, Chauvin was on notice that if convicted of theft he faced a statutory maximum sentence of 60 months. See Minn.Stat. § 609.52, subd. 3(3)(a); see also McCollum,
Chauvin’s reliance on Apprendi’s “elements” language is misplaced. The Supreme Court in Apprendi made the comparison of aggravating sentencing factors to elements in the context of the adequacy of proof to satisfy the Sixth Amendment’s jury trial requirement, not in the context of giving adequate notice of the charges presented to satisfy the Sixth and Fourteenth Amendments’ more relaxed due process and notice requirements. See Apprendi,
B.
We also recognize that, under the facts of this case, even if the omission of victim vulnerability from the charging instrument was erroneous, the error would be harmless beyond a reasonable doubt. The Supreme Court recently determined that Blakely errors are not structural and thus are subject to a harmless error analysis. Washington v. Recuenco, — U.S. -, -,
In Becker we concluded that “the complaint was defective because it failed to state the specific time period in which the multiple acts of sexual abuse allegedly occurred.”
Chauvin fails to argue how the lack of a citation to the sentencing statute in the complaint prejudiced his defense; nor are we able to identify a way in which it could have. For several weeks before trial Chauvin knew the state would seek to enhance his sentence by presenting evidence that (1) he had at least five prior felony convictions and (2) that the victims were particularly vulnerable. After the guilty verdict, the district court held a lengthy hearing during which Chauvin successfully defended himself against one of these aggravating factors when the state withdrew its motion for an upward sentencing departure based on the career offender statute. This demonstrates' Chauvin’s ability to adequately prepare his defense on sentencing issues. Thus, even if the failure to include the second sentencing factor in the complaint was error, it would be harmless.
Affirmed.
Notes
. We did not explain what an appropriate case may be, blit hinted that the defendant would have to request the interrogatory and that there must be some degree of uncertainty as to the value of the property. Olson,
. This date was important because it was the effective date of a mandatory minimum statute, which would have applied to the defendant if the offense was committed after the effective date, but not before. Robinson,
. United States v. Booker,
. This is not the first time that the legislature has taken a position on a matter within the inherent power of the judiciary that this court nonetheless decided to enforce as a matter of comity. See, e.g., State v. Willis,
Concurrence Opinion
(concurring).
I concur in the result.
